Compliance
Bank Execs Call for Regulatory Harmonization and Cross-Border Clarity
Panelists discuss operational issues involved in cross-border compliance with Mifid II.
J&J Taps Deutsche Exec for Compliance Consulting
Montagnino has held a range of compliance and surveillance-related roles at banks and trading firms.
Citi Market Strategist: Fintechs Key for Banks’ Data Demands
Citi regulatory and market strategist attests that fintech and bank collaboration is essential for better data management.
Bitcoin Regulation on the Agenda for Global Policymakers
Expert panel struck a positive tone on the future of crypto assets and indicated that it was only a matter time until regulation caught up with the digital age.
Crypto Exchange Blockbid Deploys Bank-Grade KYC Tech
Blockbid signs LexisNexis Risk and ThreatMetrix to combat fraud.
Crypto Compliance Vendor iComply Nabs Thomson Reuters’ Pinn
Pinn will bring his expertise of KYC, financial crime and risk intelligence to the cryptocurrency arena.
The Promise and Peril of Cognitive Compliance Tools
Compliance officers say they are increasingly looking at AI-powered tools to help with things like surveillance, reporting and fraud monitoring.
Nordea Blockchain Expert Urges Crypto Regulation
Regulation is the key to weeding out bad actors in the cryptocurrency and blockchain spaces, bank expert says.
Building Bridges: Nordic Collaboration Boosts Innovation, Compliance
Common business practices among Nordic coutries may mean the region is better placed to handle the data management aspects of new regulations.
Location, Location, Location
The Australian Securities Exchange outlines key considerations for firms weighing up their choice of co-location facility.
Encompass Eyes More Asia Partners for KYC Risk Data
Encompass’ recent deal with Wanda Credit Service will provide clients with access to information for assessing customer risk that has traditionally been a challenge to obtain in China.
Experts Warn on Buying into Regtech Hype
Long-term views and collaboration, rather than flashy tech, is the key to a successful program of compliance, panelists at BST Europe say.
Dirty Data Poses Problems for AI's Development
Buy-side CTO warns of fake data and biases, while stressing the need for compliance surveillance, in the world of AI technology.
Getting Ready for CAT
While the consolidated audit trail (CAT) may have missed its initial November go-live date, the project is far from over. Broker-dealers will still need to report to the system when compliance deadlines are finalized, and it may be wise to begin…
Ayasdi Partners with Navigant to Grow its AML Offering
The collaboration will be geared toward developing services that employ both AI and ML techniques to spot fraud, while helping banks with their development roadmaps.
CAT 'Tsar' May be Required to Break Gridlock
Experts say the structure of the decision-making process hinders its speed.
Schroders Turns to Commcise for Mifid II Research
Platform gives greater transparency for compliance with unbundling requirements under European rules.
Mind the Governance Gap: Data Key to SEC Modernization Compliance
Good data governance plans will be key to compliance with new sweeping legislative changes from the SEC. But for those who haven’t established effective data governance practices—and even for many who have—the changes could prove a steep and arduous…
Half of Investment Firms Won’t Be Ready for GDPR
Survey finds over 50 percent of investment firms are unprepared for GDPR’s May 25 deadline, but financial services is still ahead of the game compared with other sectors.
Hong Kong Regulators Propose LEI Mandate
HKMA and SFC would stagger the implementation dates for different reporting entities.
Wary Brokers Sound Alarm on Mifid II's RTS 28
Brokers are concerned that reports on best execution, due in just a few days, may be too onerous to produce in full.
Encompass Partners with Wisers for Asia KYC Data
Local regulators encourage use of technology to streamline KYC and regulatory compliance.
Mosaic Looks to Outer Space for AI-Powered Surveillance
Partnership with European Space Agency will apply machine learning to financial markets.
Regnosys to Expand Reach with Bank, Regulatory Implementations
In addition to its work with Isda, the fintech startup also has projects in the works with ING Bank and the FCA.